DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Van Diest Capital

Independent wealth managerPolk City, IowaCRD 334743SEC 801-135478websiteIAPD
Legal name Van Diest Capital, LLC
Latest filing Aug 25, 2026
First filing on the tape Mar 17, 2026 · 5 filings
SEC status approved since Mar 4, 2026
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$140M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$18.0M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$144M as of Aug 25, 2026
Mar 17, 2026$144M then
HNW client RAUM$90.6M as of Aug 25, 2026
Mar 17, 2026$90.6M then
State-registered IARs (5.B.3)8 as of Aug 25, 2026
Mar 17, 20267 then
Employees (5.A)8 as of Aug 25, 2026
Mar 17, 20268 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$18.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$146,299derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$127M, 456 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$90.6M63%
  • Individuals$49.6M34%
  • Pension and profit-sharing plans$3.7M2.6%
  • Corporations and businesses$242,1130.2%
Individual clients
359reported
HNW clients
70reported
Pension plan clients
35reported
Charitable clients
n/areported
Accounts
985reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$127M for 456 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
James Roger Van DiestPolk City, IaApr 16, 202513 y1
Bryce William LittlerCertified Financial PlannerPolk City, IaNov 18, 202514 y1
Benjamin RasmussenWebster City, Ia Nov 25, 202511 y1
Seth Bradley FultonJohnston, Ia Nov 25, 202514 y3
William David BertranPolk City, Ia Nov 25, 202534 y3
Eric Michael DawsonWebster City, Ia Nov 25, 202531 y3
Tyler Paul DawsonWebster City, Ia Nov 25, 202524 y3
Ryan GerardyCertified Financial PlannerPolk City, IaJul 8, 202611 y3
Advisor movement
0 left, 7 joined in 12 months
net +7 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • William Bryce Littler · Chief Financial Officercontrol
        since 11/2025 · owns less than 5%
      • Roger James Van Diest · Cco, Ceo, Cio & Partnercontrol
        since 03/2025 · owns less than 5%
      Entity owners
      • Van Diest Capital Enterprises, LLC · Holding Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Polk City, Ia · principal870
      Webster City, Ia440
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • State-registered IARs · 7 to 8
        May 11, 2026 to Jul 29, 2026
      • Advisory employees · 7 to 8
        May 11, 2026 to Jul 29, 2026
      Signals
      2 dated events
      • 2 advisors left Osaic Wealth, Inc. (Rochester, MN) for Van Diest Capital a day apart
        Nov 26, 2025 · Team lift-out · derived
      • 3 advisors left Osaic Wealth, Inc. (Webster City, IA) for Van Diest Capital on the same day
        Nov 26, 2025 · Team lift-out · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Business email
      info@vandiestcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      515-620-2085reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      515-832-3661reportedpublished by the firm, firm site, Sep 16, 2026
      Firm profile
      linkedin.com/company/vandiestcapitalreportedpublic record, Form ADV, Sep 17, 2026
      Website
      vandiestcapital.comreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      515-620-2085reportedpublic record, Form ADV, Aug 25, 2026
      Contact form
      vandiestcapital.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
      Team page
      vandiestcapital.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $18.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026